- TD Bank (New York, NY)
- …role. **Job Description:** **2026 Summer Analyst - Global Transaction Banking** **About TD Securities ** TD Securities is one of the world's leading wholesale ... as first line of defense for risk and Internal compliance , as well as support a broader TDS wide...a wide variety of functions and products across TD Securities **How You Will Contribute:** + Complete complex financial… more
- Securities and Exchange Commission (Washington, DC)
- …advice concerning a variety of complex legal issues involving the federal securities laws, the Constitution, the Administrative Procedure Act, and the Bankruptcy ... equivalent to the GS/SK-13 level. Specialized experience includes: Applying federal securities laws, federal administrative law, and the rules governing practice in… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $150,000 - $215,000 USD TD is committed to providing fair ... and infrastructure capabilities that support the Payments and Deposit Services of TD Securities . Our mission is 'To Deliver World Class Service' to all internal and… more
- Fifth Third Bank, NA (Oak Brook, IL)
- …the Retail and PCG leadership teams in the assigned area. + Implements the Securities sales strategy to grow revenue and increase market share. + Manages the Retail ... client experience. + Works with the Regional Investment Manager and Fifth Third Securities finance to set appropriate revenue and asset management growth goals for… more
- Trustco Bank (Albany, NY)
- …pertaining to those companies. + Compares performance of the Bank's recommended securities relative to their benchmarks to determine if the securities ... are still benefitting the Bank's portfolios. + Ensures compliance with regulations and Bank policies and procedures as...determine if and when it is prudent to reallocate securities within a portfolio. + Prepares daily, weekly and… more
- State of Colorado (Denver, CO)
- …This attorney will work on a multi-disciplinary team to prosecute insurance and securities fraud throughout the state. In this position, you will have the ... ranging from staged and caused accidents rings to complex securities fraud. If you are looking for a position...set commensurate with the successful candidate's qualifications and in compliance with the Equal Pay for Equal Work Act.… more
- Thrivent Financial (MI)
- …of advice, insurance products, asset/wealth management, fee-based planning, mutual funds, and securities . + FINRA Series 7, 63/65 or 66 required or obtained within ... 90 days, Series 24 preferred. + State securities registered and insurance licensed and appointed in all...and receiving commissions. + Satisfactory background check and clean compliance record. + Effectively able to represent the Society… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …business. * Ensures firm and regulatory policies are followed within compliance standards. * Performs other duties and responsibilities as assigned. ... and 1035 exchanges. * Concepts, practices, and procedures of the securities and banking industry. * Fundamental investment concepts, practices, and procedures… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- JPMorgan Chase (Chicago, IL)
- …qualifications, capabilities, and skills** + 7+ years of experience in the securities / investment industry + Minimum licensing requirement: FINRA Series 7 and ... days of hire. + Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices. +… more